DOJ and the SEC Enforcement Division have launched initiatives targeting executive compensation clawbacks.
The SEC is aggressively pursuing SOX 304 compensation clawbacks from Chief Executive Officers and Chief Financial...more
Late last week, the Department of Justice’s Deputy Attorney General, Lisa Monaco, announced several new guidelines for prosecutors to use when determining how to assess and treat corporate offenders....more
9/21/2022
/ Compliance ,
Compliance Monitoring ,
Corporate Crimes ,
Corporate Misconduct ,
Department of Justice (DOJ) ,
Enforcement ,
Individual Accountability ,
New Guidance ,
Prior Wrongful Acts ,
Recidivism ,
Self-Disclosure Requirements ,
Transparency
Key Takeaways -
As DOJ senior leadership signaled it would do since March, DOJ has now officially required as part of resolving a corporate enforcement action, that a Chief Compliance Officer (CCO) and Chief Executive...more
7/1/2022
/ Anti-Corruption ,
CEOs ,
Certification Requirements ,
Chief Compliance Officers ,
Cooperative Compliance Regime ,
Corporate Misconduct ,
Criminal Liability ,
Department of Justice (DOJ) ,
New Guidance ,
Regulatory Requirements ,
Risk Management ,
White Collar Crimes
Introduction -
China’s top anti-corruption watchdogs recently released a new anti-bribery Guideline designed to focus on multi-national corporations and individuals that pay bribes in China, as opposed to bribe recipients,...more
The U.S. Department of Transportation released new federal guidance for Automated Driving Systems (ADSs) on September 12, 2017. The new Voluntary Guidance—titled “Automated Driving Systems 2.0: A Vision for Safety”—replaces...more
9/19/2017
/ Automotive Industry ,
Data Recording ,
Department of Transportation (DOT) ,
Driverless Cars ,
Federal Automated Vehicles Policy ,
New Guidance ,
NHTSA ,
Proposed Legislation ,
Regulatory Burden ,
Regulatory Oversight ,
Safety Standards ,
Self-Evaluations ,
Technology ,
Voluntary Compliance
Germany’s Federal Ministry of Transport and Digital Infrastructure formally presented last week ethical guidelines that affirm that governments are focusing on similar themes in designing their regulatory approach to the...more
9/9/2017
/ Automotive Industry ,
Car Accident ,
Civil Liability ,
Connected Cars ,
Cybersecurity ,
Data Privacy ,
Driverless Cars ,
Ethical Standards ,
Germany ,
New Guidance ,
Product Defects ,
Public Disclosure ,
Public Safety ,
Regulatory Agenda
In today’s regulatory environment, companies face mounting pressure from law enforcement agencies to maintain robust compliance programs to deter and detect misconduct by employees, third-party vendors and business partners....more
3/22/2017
/ Compliance ,
Cooperation ,
Corporate Governance ,
Department of Justice (DOJ) ,
Due Diligence ,
Federal Pilot Programs ,
Foreign Corrupt Practices Act (FCPA) ,
Fraud ,
New Guidance ,
Policies and Procedures ,
Remediation ,
Risk Assessment ,
Securities and Exchange Commission (SEC) ,
UK Bribery Act ,
Voluntary Disclosure